Federal Railroad Administration (FRA) 

Funding for Research Programs

Presented by:

Dr. Maryam Allahyar, Director of FRA’s Office of Research, Development, and Technology

Cam Stuart • Jeff Gordon • Melissa Wong • Doug Gascon

May 13, 2021
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Federal Railroad Administration – Overview

FRA statistics:

• <1000 employees

• ~75% field/25% HQ

• Regulates over 700 

railroads

• Annual research and 

development budget 

~$40 million
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FRA Office of Research, Development, and Technology (RD&T)

Mission: To ensure the safe, efficient, and reliable movement 

of people and goods by rail through applied research.
FRA Broad Agency 

Announcement (BAA)

Research Programs

Presented by: Cam Stuart, BAA Program Manager, Office of Research, Development, and Technology (FRA)
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Agenda

• What is a Broad Agency Announcement (BAA)?

• Why does FRA use the BAA process?

• General structure of FRA BAA programs

• Recent BAA program statistics
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What Is a Broad Agency Announcement?

• A Broad Agency Announcement is a general announcement of an agency’s 

intent to conduct or support basic or applied research. 

– Defined by the Federal Acquisition Regulation (FAR)

– Not for development of specific products or systems

– Only used when meaningful proposals with varying approaches are anticipated 

(FAR 35.016)

• A BAA contains:

– A broad or specific description of research interest 

(generalized Statement of Work [SOW])

– Proposal submittal schedule, instructions, and evaluation criteria
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What Is a Broad Agency Announcement?

• The BAA is a competitive, open procurement 

process

• FRA solicits research ideas 

• From the entire technical marketplace 

• That will directly impact the safety and efficiency 

of freight and passenger rail in the United States

• Awards can be contracts, grants, or co-ops

• 100% of FRA awards have been contracts 

(fixed-price or cost type)

• Agency guidance/discussion occurs prior to 

formal proposal submittal (FAR 15.604)

https://railroads.dot.gov/program-areas/research-and-development-funding/broad-agency-announcement

Image from a BAA-funded bridge scour detection 

technology project 

To see the FRA Technical Report on the 

bridge scour project, visit: 

https://railroads.dot.gov/elibrary/newmethod-detecting-onset-scour-andmanaging-scour-critical-bridges
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Why Does FRA Use the BAA Process?

• Efficient method to solicit research

• No detailed SOW needed

• Short research topics!

• Straightforward evaluation process

• Guaranteed competition

• Targets tough challenges

• Solutions are unknown

• Generates creative approaches

• Encourages new participants in railroad research
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General Structure of FRA BAA Programs • Documents:

• BAA – contains strategic objectives and all 

requirements for participation in the program

• BAA “Appendix C” (most BAA programs) – separate 

set of specific research topics for response • Announcement: beta.sam.gov • Eligibility: open, except for 

university-only programs

• Two-phase process

• Concept papers – 5 pages, 2-month open period

• Proposals – by invitation, up to 20 pages

• Evaluations: all by federal employees • Award size (general): $150K – $500K

Announcement to Award:

8 – 12 months 
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Recent BAA Statistics

High-Speed 

Intercity Passenger 

Rail (HSIPR) BAA

FY 2011–2013

Funding

$25

million

60+

awards

Annual Research 

BAA

FY 2013–Present 

Funding is 

variable from 

annual 

allocations to 

RD&T divisions 

120+

awards

Intelligent 

Railroad Systems 

BAA

FY 2018, 2020

University or 

university-led 

teams only

$1 million

per year 

FY 2017–2020

10+

awards to date

University 

Research 

BAA

FY 2019

$2 million 

for university/

university-led 

teams only

4 awards
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Broad Agency Announcement FY21

• General BAA released April 2021

• Topic areas:

o Track

o Equipment

o Train Control

o Next Generation GX

• Deadline for concept papers: June 4, 2021

• A possible second FY21 BAA for 

universities

o Human Factors

o Workforce Development

o Infrastructure Resiliency

https://railroads.dot.gov/program-areas/research-and-development-funding/broad-agency-announcement
Small Business Innovation 

Research (SBIR) Program

Presented by: 

Melissa Wong, USDOT SBIR Program Manager, Volpe National Transportation Systems Center

Jeff Gordon, SBIR Program Manager, Office of Research, Development, and Technology (FRA)
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Agenda

1. What is the Small Business Innovation Research (SBIR) Program?

2. Who is eligible and how is a project selected?

3. How does FRA select its topics?

4. How can I learn more?
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Congress established the SBIR Program* in 1982 to:

• Meet federal research and development (R&D) needs

• Increase private-sector commercialization of innovation derived from 

federal research and development funding

• Stimulate technological innovation

• Foster and encourage participation in innovation and 

entrepreneurship by women and socially/economically disadvantaged 

individuals

SBIR Overview

*https://www.sbir.gov/
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EXTRAMURAL RESEARCH BUDGET

SBIR awards

SBIR Overview

DOT DOD DHS

NASA NSF USDA

DOC ED DOE

HHS EPA

Federal Agencies with Extramural 

Research Budgets > $100 Million

3.2% must 

go to SBIR 

awards
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U.S. DOT’s SBIR Program

• SBIR addresses highpriority research gaps 

within DOT’s R&D program

• SBIR topics are developed 

to align with the Secretary’s 

strategic priorities, specific 

modal priorities, and the 

Small Business 

Administration (SBA)

DOT Operating Administrations 

Participating in SBIR

Federal Aviation Administration (voluntary)

Federal Highway Administration / ITS Joint Program 

Office

Federal Railroad Administration

Federal Transit Administration

Federal Motor Carrier Safety Administration

National Highway Traffic Safety Administration

Office of the Secretary

Pipeline and Hazardous Materials Safety Administration
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• Applicants from industry must be for-profit, U.S.-owned and 

-operated companies employing under 500 people 

• Focus is on performing R&D, not purchasing equipment, or 

commercializing a technology that has already been developed or one 

that has very low risk and only needs capital

• For DOT’s SBIR program, applicants cannot be majority owned by 

venture capital operating companies (VCOCs), hedge funds, or private 

equity firms

Eligibility
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Eligibility

• More than one-half of the principal 

investigator's employment time is spent 

working for the small business. This typically 

precludes full-time employment with another 

organization.

• The research or R&D work must be 

performed in the United States (with few 

exceptions) for Phase I, II, and IIB
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U.S. DOT’s SBIR Program Details

Annual SBIR 

Budget: 

$9 million

Annual FRA 

SBIR Funding: 

~ $1 million*

• Approx. 5 to 10 topics per year

• 13 topics in FY21 (2 from FRA)

Phase 

IIB

Phase II

Phase I Based on solicitation topics

~25% of Phase II awards

50-60% of Phase I awards

Number of Awards per Year

*May include additional funding when 

available and necessary
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Phase I

Concept Development

6 months – 1 year

~ $150,000 

Phase II & IIB

Prototype Development

24 months

~ $1,000,000

Phase III

Commercialization

No SBIR funding

DOT conducts 

evaluations; 

limited number 

advance to 

Pitch Day

Small business 

selects a 

topic(s) in 

solicitation

They submit a 

proposal that 

meets 

solicitation 

requirements

DOT selects 

awardees; Phase I 

contracts are 

prepared and 

issued by Volpe

Solicitation to Award Process

Three-Phase Process
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FRA’s RD&T Program and SBIR Topic Areas

As mentioned, FRA’s RD&T Office is organized into four divisions:

See: https://railroads.dot.gov/research-development/research-development-technology
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FRA’s SBIR Participation History

Avg. Phase I awards/year: 4

Avg. Phase II awards/year: 2

Avg. Phase I proposals/year: 40
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• 21-FR1: Passenger Train Exterior 

Side Door Safety

FY21 FRA SBIR Topics

For more information on FY21 award recommendations:

https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/fy21-awards

Photo credit: Wikipedia, CC BY-2.5

• 21-FR2: Wheel Measuring Device

Photo credit: Wikimedia, CC BY-2.0
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Current FRA SBIR Topics with Awards

Sample of Active Contracts

• Broken Rail Detection from 

Flashing Rear End Device

• Drone-Based Track Safety 

Inspection System

• Portable Stiffness/Elastic 

Modulus Measurement System

• Improved Condition Monitoring 

of Traction Motors

• Resilient Wayside Structures to 

Reduce Severity of Passenger 

Equipment Collisions and 

Derailments
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Ongoing Phase IIB SBIR Related to Train Occupant Protection

Resilient Wayside Structures and Passenger Car Survivability
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SBIR Success Story

For more SBIR success stories, visit: 

https://www.volpe.dot.gov/work-with-us/small-businessinnovation-research/sbir-success-stories

Photo credit: GS Engineering, Inc.
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• One solicitation per year

• Next solicitation expected winter 2021-2022

o Sign up to receive notifications when topics are posted, as well as 

solicitation open and close dates at www.volpe.dot.gov/sbir 

• SBIR administers contracts, not grants

• SBIR Program Office does not accept unsolicited proposals

Other Things to Know about SBIR
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Contact

• For more information about FRA’s Research, Development and Technology 

Program, contact:

Jeff Gordon

617-494-2303

Jeffrey.Gordon@dot.gov

• For more information about the DOT’s SBIR Program, visit 

www.volpe.dot.gov/sbir or contact:

DOT SBIR Program Office

617-494-2051

DOTSBIR@dot.gov
Consolidated Rail Infrastructure 

and Safety Improvements 

(CRISI) Program

Presented by: Doug Gascon, Acting Chief, Program and Policy Development Division, Office of Railroad 

Policy and Development (FRA) 
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FY19 CRISI – Program Overview CRISI Program Overview

Grant Purpose

• To fund projects that improve the safety, efficiency, and/or reliability of intercity passenger and freight rail systems

CRISI ‒ Recent & Upcoming Funding Opportunities

Year Available 

Funding (M) Status

FY18 (PTC) $250 Awards announced August and December 2018

FY18 $318 Awards announced June 2019

FY19 $244 Awards announced March 12, 2020

FY20 $311 Awards announced September 23, 2020

FY21 TBD NOFO expected spring 2021

FY18 FY19 FY20 FY21

Authorization $230 $255 $330 $330

Appropriation $592.5 $255 $325 $375

Authorization & Appropriations (M)

Status of Funding Opportunities









NOFO: Notice of Funding Opportunity
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• State entities

• Public agencies or publicly chartered authorities 

• Local governments

• Amtrak or other intercity passenger rail carrier

• Class II or III railroads

• Any rail carrier or equipment manufacturer in partnership with at least one state entity, 

public agency, and/or local government

• The Transportation Research Board (TRB) together with any entity with which it contracts 

in the development of rail-related research, including cooperative research programs

• A university transportation center engaged in rail-related research

• A non-profit labor organization 

Eligible Applicants

CRISI Program Overview 
32

• Wide Range of Rail Capital Projects

• Congestion mitigation

• Ridership growth facilitation 

• Enhancements to multimodal connections

• Improvements to short-line or regional railroad 

infrastructure

• Railroad Safety Technology 

• Track, Station, and Equipment Improvements for 

Intercity Passenger Rail

• Grade Crossing Improvements

• Rail Line Relocation and Improvement 

• Regional, State, Corridor Planning and 

Environmental Analyses

• Safety Programs and Institutes

CRISI Program Overview 

Eligible Project Criteria

• Workforce Development and Training

• Research to advance rail-related capital, 

operations, and safety improvements

At least 25% of funds is reserved for rural projects

New in FY 2021

• $75M set aside for capital projects to support 

new intercity passenger rail service 

routes including alignments for existing routes

• $25M set aside for capital projects and 

engineering solutions targeting trespassing

• $2.3M set aside for trespass prevention projects 

related to enforcement and outreach (from NonCRISI funding included in NOFO)
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• Primarily a capital project improvement program

• Required match

• Non-federal match: 20% minimum; preference for 

50% or more

• Four tracks

• Track 1: Planning

• Track 2: Preliminary Engineering / 

National Environmental Policy Act review

• Track 3: Final Design/Construction

• Track 4: Research, Safety Programs, and Institutes

• Active 2017 – current

CRISI Program Overview 

iv. Track 4—Research, Safety

Programs and Institutes (Non-Railroad

Infrastructure)

Track 4 consists of projects not falling

within Tracks 1–3 and for the

development and implementation of

workforce development activities,

research, safety programs or institutes

designed to improve rail safety that

clearly demonstrate the expected

positive impact on rail safety. Sufficient

detail must be provided on what the

project will accomplish, as well as the

applicant’s capability to achieve the

proposed outcomes. Examples include:

Initiatives for improving rail safety,

training, public outreach, and

education.
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Recent Grant Selections

Rail Pulse: The Realization of Railcar 

Location, Condition, Health, and 

Telematics Sensors on the North 

American Railcar Fleet 

Pennsylvania Department of Transportation

Award: Up to $7,895,000

Project Description: 

• Develops a railcar onboard GPS 

sensor system to provide real-time 

information on railcar movements 

and condition to shippers, car 

owners, and railroads 

• Proposed concept could offer safety 

benefits as well as increased visibility 

regarding shipments

For more information on CRISI Grants, see the FY20 CRISI NOFO Webinar: 

https://railroads.dot.gov/rail-network-development/training-guidance/webinars

Improving the Safety At Grade 

Crossings in Rural Areas Using 

UAV-CRP Data Analysis

Texas A&M Engineering Experiment 

Station

Award: Up to $241,546 

Project Description: 

• Will demonstrate the feasibility of 

using drones to collect site 

conditions data at grade crossings 

in rural areas in order to improve 

safety for vehicle traffic and trains

Rural Railroad Safety Center

Kansas State University

Award: Up to $2,574,365

Project Description: 

• Develops Rural Railroad Safety 

Center with partner institutions:

• University of Nebraska, Lincoln 

• University of Florida

• Pennsylvania State University, 

Altoona

• California State University, Chico 

• Project will provide railroad 

industry workforce development 

and safety research
CONTACT 

US

Federal Railroad Administration

1200 New Jersey Avenue, SE

Washington, DC 20590

For more information visit us at

www.fra.dot.gov

Connect with us USDOTFRA

BAA:

Cam Stuart 

FRA BAA Program Manager 

Cameron.Stuart@dot.gov

SBIR:

Jeff Gordon

FRA SBIR Program Manager

Jeffrey.Gordon@dot.gov

Melissa Wong

U.S. DOT SBIR Program Manager

Melissa.Wong@dot.gov 

CRISI:

Doug Gascon

Acting Chief, Program and Policy 

Development Division

Douglas.Gascon@dot.gov